‘Enforcement 40’ for 2020
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By Securities Docket on May 7, 2014, 3:41 pm
Hong Kong’s Securities and Futures Commission continues to push its insider trading case against U.S. hedge fund Tiger Asia and its two senior executives. The SFC now wants to impose a “cold shoulder” order on Tiger Asia’s two senior executives that would ban them from trading in the country’s markets. via Hong Kong Seeks to […]
By Securities Docket on May 7, 2014, 1:10 pm
The Financial Industry Regulatory Authority has fined Morgan Stanley’s wealth management unit $5m after it ruled that the Wall Street giant had supervisory failures related to the sale of shares from 83 IPOs to retail customers. via Morgan Stanley Fined $5m for 83 IPOs Sold to Retail Customers — IB Times